DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Former SEC-registered adviser
P••••••• R•• C•••••• M••••••••• I•••
Latest filing Jul 14, 2025
First filing on the tape Feb 29, 2012 · 10 filings
SEC status approved since Apr 11, 2022
RAUM
$59.5M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$59.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$59.5M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$59.5M as of Jul 14, 2025
Feb 29, 2012$45.0M then
HNW client RAUM$58.8M as of Jul 14, 2025
Mar 28, 2023$106M then
State-registered IARs (5.B.3)1 as of Jul 14, 2025
Feb 29, 20120 then
Employees (5.A)1 as of Jul 14, 2025
Mar 28, 20232 then
Private funds: no history
RAUM -34% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jul 14, 2025; every figure names its basis
- RAUM per advisor
- $59.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 98derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $639,080derivedHNW RAUM over HNW clients
- Average account
- $606,786derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.7%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$58.8M99%
- Individuals$669,6561.1%
- Individual clients
- 6reported
- HNW clients
- 92reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 98reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• M•••••• P••••••• | Fort Worth, Tx | Aug 12, 2025 | 31 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- P••• R• R•• to J••• M••••• S••••••••• L••Apr 12, 2022 · RIA to wirehouse
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• B••••• M•••••• · President, Chief Compliance Officer, Treasurer & Directorcontrolsince 05/2002 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · unset to May 29, 2025 to Jul 14, 2025
- Accounts · 110 to 98Mar 13, 2024 to Apr 29, 2025
- Corporate clients · 5.0 to unsetMar 13, 2024 to Apr 29, 2025
- HNW clients · 98 to 92Mar 13, 2024 to Apr 29, 2025
- Individual clients · 7 to 6Mar 13, 2024 to Apr 29, 2025
- Discretionary RAUM · $75.1M to $55.1MMar 13, 2024 to Apr 29, 2025
- HNW RAUM · $87.3M to $58.8MMar 13, 2024 to Apr 29, 2025
- Individual RAUM · $799,523 to $669,656Mar 13, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $15.5M to $4.4MMar 13, 2024 to Apr 29, 2025
- RAUM · $90.7M to $59.5MMar 13, 2024 to Apr 29, 2025
- Accounts · 290 to 110Aug 15, 2023 to Mar 13, 2024
- HNW clients · 101 to 98Aug 15, 2023 to Mar 13, 2024
- Individual clients · 26 to 7Aug 15, 2023 to Mar 13, 2024
- Discretionary RAUM · $87.9M to $75.1MAug 15, 2023 to Mar 13, 2024
- HNW RAUM · $106M to $87.3MAug 15, 2023 to Mar 13, 2024
- Individual RAUM · $3.0M to $799,523Aug 15, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $23.8M to $15.5MAug 15, 2023 to Mar 13, 2024
- RAUM · $112M to $90.7MAug 15, 2023 to Mar 13, 2024
- Advisory employees · 2 to 1Mar 28, 2023 to Aug 15, 2023
- Employees · 2 to 1Mar 28, 2023 to Aug 15, 2023
- State-registered IARs · 2 to 1Mar 28, 2023 to Aug 15, 2023
- Corporate clients · 4 to 5Mar 10, 2022 to Mar 28, 2023
- HNW clients · 125 to 101Mar 10, 2022 to Mar 28, 2023
- Individual clients · 13 to 26Mar 10, 2022 to Mar 28, 2023
- Discretionary RAUM · $128M to $87.9MMar 10, 2022 to Mar 28, 2023
- HNW RAUM · $156M to $106MMar 10, 2022 to Mar 28, 2023
- Individual RAUM · $1.3M to $3.0MMar 10, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $33.5M to $23.8MMar 10, 2022 to Mar 28, 2023
- RAUM · $161M to $112MMar 10, 2022 to Mar 28, 2023
- Accounts · 189 to 290Jun 22, 2012 to Mar 10, 2022
- Advisory employees · unset to 2.0Jun 22, 2012 to Mar 10, 2022
- Corporate clients · unset to 4.0Jun 22, 2012 to Mar 10, 2022
- HNW clients · unset to 125.0Jun 22, 2012 to Mar 10, 2022
- Individual clients · unset to 13.0Jun 22, 2012 to Mar 10, 2022
- Employees · unset to 2.0Jun 22, 2012 to Mar 10, 2022
- State-registered IARs · 0 to 2Jun 22, 2012 to Mar 10, 2022
- Other offices · unset to 0.0Jun 22, 2012 to Mar 10, 2022
- Discretionary RAUM · $45.0M to $128MJun 22, 2012 to Mar 10, 2022
- HNW RAUM · unset to 156294172.0Jun 22, 2012 to Mar 10, 2022
- Individual RAUM · unset to 1317842.0Jun 22, 2012 to Mar 10, 2022
Signals
4 dated events
- P••••••• R•• C•••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $59.5M)Sep 2, 2025 · Left the SEC roster · derived
- Richard P••• Ray (Vp, Secretary, Director) no longer on Schedule A of P••••••• R•• C•••••• M••••••••• I••• (listed 2023-03-28, absent 2023-08-15)Aug 15, 2023 · Control person left · inference
- P••• R• R•• left P••••••• R•• C•••••• M••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-08-23)Apr 12, 2022 · Advisor changed firm · fact
- P••••••• R•• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 10, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $59.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026